Enforcement Actions
The CFTC Division of Enforcement investigates and prosecutes alleged violations of the Commodity Exchange Act and Commission regulations. The CFTC takes enforcement actions against individuals and firms registered with the Commission, those who are engaged in commodity futures and option trading on designated domestic exchanges, and those who improperly market futures and options contracts.
View Dispositions
View Opinions and Adjudicatory Orders
Enforcement Advisory: Updated Advisory on Self Reporting and Full Cooperation
Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Individuals
Enforcement Advisory: Cooperation Factors in Enforcement Division Sanction Recommendations for Companies
Enforcement Advisory: Advisory on Self Reporting and Cooperation for CEA Violations Involving Foreign Corrupt Practices
See CFTC Press Release 7518-17 (January 19, 2017) and
Speech of James McDonald, Director of the Division of Enforcement Commodity Futures Trading Commission Regarding Perspectives on Enforcement: Self-Reporting and Cooperation at the CFTC (September 25, 2017)